SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 40-F
☐ | Registration statement pursuant to Section 12 of the Securities Exchange Act of 1934 |
or
☒ | Annual report pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934 |
For Fiscal year ended: December 31, 2018
Commission File number: No. 1-9059
BARRICK GOLD CORPORATION
(Exact name of Registrant as specified in its charter)
British Columbia | 1041 | Not Applicable | ||
(Province or other jurisdiction of incorporation or organization) |
(Primary standard industrial classification code number, if applicable) |
(I.R.S. employer identification number, if applicable) |
Brookfield Place, TD Canada Trust Tower,
Suite 3700
161 Bay Street, P.O. Box 212
Toronto, Ontario Canada M5J 2S1
(800) 720-7415
(Address and telephone number of registrants principal executive office)
Barrick Gold of North America, Inc.
310 South Main Street
Suite 1150
Salt Lake City, Utah 84101
(801) 990-3745
(Name, address and telephone number of agent for service in the United States)
Securities registered pursuant to Section 12(b) of the Act:
Title of each class: |
Name of each exchange on which registered: | |
Common Shares | New York Stock Exchange |
Securities registered or to be registered pursuant to Section 12(g) of the Act: None
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act: None
For annual reports, indicate by check mark the information filed with this form:
☒ Annual Information Form | ☒ Audited Annual Financial Statements |
Indicate the number of outstanding shares of each of the issuers classes of capital or common stock as of the close of the period covered by the annual report:
Common Shares 1,751,981,799
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the preceding 12 months (or for such shorter period that the registrant was required to file such reports); and (2) has been subject to such filing requirements for the past 90 days.
Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).
Yes ☒ No ☐
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 12b-2 of the Exchange Act.
Emerging growth company ☐
If an emerging growth company that prepares its financial statements in accordance with U.S. GAAP, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
INTERNAL CONTROL OVER FINANCIAL REPORTING AND DISCLOSURE CONTROLS AND PROCEDURES
The disclosure provided under Internal Control Over Financial Reporting and Disclosure Controls and Procedures on pages 164 and 165 of Exhibit 99.1, Barricks Annual Information Form, is incorporated by reference herein.
MANAGEMENTS REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING
Barricks Managements Report on Internal Control Over Financial Reporting contained in Exhibit 99.2 is incorporated by reference herein.
ATTESTATION REPORT OF THE REGISTERED PUBLIC ACCOUNTING FIRM
The disclosure provided under Report of Independent Registered Public Accounting Firm on pages 88 through 89 of Exhibit 99.3, Barricks Audited Consolidated Financial Statements, is incorporated by reference herein.
AUDIT COMMITTEE
The disclosure provided under Composition of the Audit & Risk Committee on page 162 of Exhibit 99.1, Barricks Annual Information Form, is incorporated by reference herein. Barrick has a separately-designated standing audit committee established in accordance with Section 3(a)(58)(A) of the Securities Exchange Act of 1934, as amended.
CODE OF ETHICS
Barrick has adopted a code of ethics entitled, Barrick Gold Corporation Code of Business Conduct and Ethics. The Code of Business Conduct and Ethics applies to all directors, officers and employees of Barrick, including Barricks principal executive officer, principal financial officer and principal accounting officer. The Code of Business Conduct and Ethics is available at Barricks Internet website, www.barrick.com, in the About Governance & Board of Directors section and is available in print to any shareholder upon written request to the Corporate Secretary of Barrick.
PRINCIPAL ACCOUNTANT FEES AND SERVICES
The disclosure provided under External Auditor Service Fees on page 164 of Exhibit 99.1, Barricks Annual Information Form, is incorporated by reference herein.
AUDIT & RISK COMMITTEE PRE-APPROVAL POLICIES AND PROCEDURES
The disclosure provided under Audit & Risk Committee Pre-Approval Policies and Procedures on pages 164 of Exhibit 99.1, Barricks Annual Information Form, is incorporated by reference herein. No audit-related fees, tax fees or other non-audit fees were approved by the Audit Committee pursuant to paragraph (c)(7)(i)(C) of Rule 2-01 of Regulation S-X.
OFF-BALANCE SHEET ARRANGEMENTS
Barrick has no off-balance sheet arrangements that have, or are reasonably likely to have, a material effect on Barricks financial condition, changes in financial condition, revenues or expenses, results of operations, liquidity, capital expenditures or capital resources.
CONTRACTUAL OBLIGATIONS
The disclosure provided under Contractual Obligations and Commitments on page 58 of Exhibit 99.4, Managements Discussion and Analysis of Financial and Operating Results, is incorporated by reference herein.
MINE SAFETY DISCLOSURE
Barrick is required to report certain mine safety violations or other regulatory matters required by Section 1503(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act, and that required information is included in Exhibit 99.14.
UNDERTAKING AND CONSENT TO SERVICE OF PROCESS
A. Undertaking
Registrant undertakes to make available, in person or by telephone, representatives to respond to inquiries made by the Commission staff, and to furnish promptly, when requested to do so by the Commission staff, information relating to: the securities registered pursuant to Form 40-F; the securities in relation to which the obligation to file an annual report on Form 40-F arises; or transactions in said securities.
B. Consent to Service of Process
Registrant filed concurrently with the Commission a Form F-X/A in connection with the filing of its Annual Report on Form 40-F, filed on March 22, 2019.
INCORPORATION BY REFERENCE
Barricks annual report on Form 40-F (other than the section entitled Ratings in Exhibit 99.1) is incorporated by reference into Barricks Registration Statements on Form S-8 (File No. 333-224560), Form F-3 (File No. 333-206417) and Form F-10 (File No. 333-230235).
SIGNATURES
Pursuant to the requirements of the Exchange Act, the registrant certifies that it meets all of the requirements for filing on Form 40-F and has duly caused this annual report to be signed on its behalf by the undersigned, thereto duly authorized.
Dated: March 22, 2019
BARRICK GOLD CORPORATION | ||
By: | /s/ Kevin Thomson | |
Name: |
Kevin Thomson | |
Title: |
Senior Executive Vice President, Strategic Matters |
EXHIBIT INDEX
Exhibits |
Description | |
99.1 | Annual Information Form dated as of March 22, 2019 | |
99.2 | Managements Report on Internal Control Over Financial Reporting | |
99.3 | Barrick Gold Corporations Audited Consolidated Financial Statements prepared in accordance with International Financial Reporting Standards as issued by the International Accounting Standards Board, including the Notes thereto, as at and for the years ended December 31, 2018 and 2017, together with the Independent Auditors report thereon. | |
99.4 | Barrick Gold Corporations Managements Discussion and Analysis for the year ended December 31, 2018. | |
99.5 | Consent of PricewaterhouseCoopers LLP | |
99.6 | Consent of Rodney Quick | |
99.7 | Consent of Simon Bottoms | |
99.8 | Consent of Rick Sims | |
99.9 | Consent of Robert Krcmarov | |
99.10 | Certification of Mark Bristow required by Rule 13a-14(a) or Rule 15d-14(a), pursuant to Section 302 of Sarbanes-Oxley Act of 2002 | |
99.11 | Certification of Graham Shuttleworth required by Rule 13a-14(a) or Rule 15d-14(a), pursuant to Section 302 of Sarbanes-Oxley Act of 2002 | |
99.12 | Certification of Mark Bristow pursuant to 18 U.S.C. Section 1350, as enacted pursuant to Section 906 of Sarbanes-Oxley Act of 2002 | |
99.13 | Certification of Graham Shuttleworth pursuant to 18 U.S.C. Section 1350, as enacted pursuant to Section 906 of Sarbanes-Oxley Act of 2002 | |
99.14 | Dodd-Frank Act Disclosure of Mine Safety and Health Administration Safety Data | |
101.INS | XBRL Instance Document | |
101.SCH | XBRL Taxonomy Extension Schema Document | |
101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | |
101.DEF | XBRL Taxonomy Extension Definition Linkbase Document | |
101.LAB | XBRL Taxonomy Extension Labels Linkbase Document | |
101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document |